Saving Money, and Your Sanity, on College Visits (Hint: Resist the Swag)
Most counselors suggest starting near home and visiting a mix of college types, like an urban college, a large public university and a small, liberal arts campus.
Practice Areas
Arbitration, Litigation, Mediation
With 30 years of experience as a securities lawyer, Mark knows knows what it takes to effectively, and efficiently, handle litigation matters - when to settle, and when to take the case to a final hearing. Mark has litigated virtually every securities law claim imaginable and can effectively guide you through the process.
Investigations, Audits and Exams
Defense of SEC and FINRA investigations, routine exams, 8210 requests, OTRs and Wells Notices are the main stay of Mark's practice. From customer complaints to insider trading investigations, his experience in these proceedings, as well as in the practical aspects of operating a broker-dealer, can provide the experience that you need.
Securities Employment Issues
Representation of broker-dealers, investment advisers in all employment related issues, including employment agreements, separation agreements, litigation, promissory notes, and all aspects of the relationship.
Recent Posts
I.R.S. Offers Deal to Small Insurance Companies Under Scrutiny
The offer pertains to captive insurance, a way to insure against risks not covered by traditional means. But it has created an incentive for tax avoidance.